David Karl Haase

Employer firm

Gwn Securities Inc. CRD 128929

$4.75B regulatory AUM 54 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2003 → 12/2016
  Legend Equities Corporation
  Palm Beach Gardens, FL
• 01/2017 → Present
  Gwn Securities, Inc.
  Palm Beach Gardens, FL

Previous Registrations

• 2003-02-20 → 2017-01-13
  Legend Advisory, Llc
  Hillsborough, NJ
  Palm Beach Gardens, FL
  Princeton, NJ
• 2002-06-04 → 2003-01-14
  Metlife Investment Fund Services Llc
  Woodbridge, NJ

Other Businesses

1--DAVID HAASE, 101 STEPHEN WAY, HILLSBOROUGH, NJ 08844, , OWNER, BUSINESS CONSULTANT, START 6/19/2015, TIME 1%, INCOME 1% / MISC LIFE, HEALTH & ANNUITIES, LIST ON FILE, TIME 1%, INCOME 1% 2--LANDLORD, COLLECT RENT AND MANAGE PROPERTY ISSUES Is Not Investment Related, Property management, LANDLORD, 2001-01-01, 1 hours per month, 1 hours per month during trading hours, Other Compensation, Manage rental property and collect rent fee. 3--RPT WEALTH STRATEGIES, LLC POSITION: CEO NATURE: The LLC is being created for tax reporting purposes only. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/15/2017 ADDRESS: P.O. Box 6150, Hillsborough, NJ 08844-6150 DESCRIPTION: The LLC is being created only for tax reporting purposes only. ANNUITY INSURANCE, LIFE, HEALTH, SICKNESS INSURANCE POSITION: Managing Director NATURE: Annuities, Life insurance, health insurance and sickness insurance. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/03/2017 ADDRESS: P.O. Box 6150, Hillsborough, NJ 08844-6150, United States DESCRIPTION: To help clients protect a portion of their assets by offering fixed annuities. Review and identify proper coverage of insurance (life, health, sickness) for clients. Initiate the application process for clients on an as needed basis. 4--FAITH LUTHERAN CHURCH NATURE: Religious Organization POSITION: Council Member INVESTMENT RELATED: Is Not Investment Related START DATE: 2023-06-26 HOURS: 4 hours per month SECURITIES TRADING HOURS: 0 hours per month during trading hours ADDRESS: 381 South Branch Road, Hillsborough, NJ 08844 DESCRIPTION: Discuss the functions and operations of Faith Lutheran Church with other church council members and church committee members.

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-05-31
• S63 Uniform Securities Agent State Law Examination
  1997-10-20

Designations

• Certified Financial Planner